Our Staff has compiled our research into a database of FINRA Broker Disclosures for Corecap Investments, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Raymond Max Pett | 2357041 | 5 | 01/26/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 12/18/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 09/14/2017 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Holly Marie Maurer | 2764991 | 3 | 09/14/2017 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Holly Marie Maurer | 2764991 | 3 | 08/15/2017 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| David Leonard Norqual | 4714202 | 1 | 05/17/2017 | Customer Dispute | Denied | $128,395.00 | $0.00 | See FINRA Report |
| Peter Timothy Frawley | 4827671 | 7 | 03/10/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lauren Anne Ferrante | 1138335 | 5 | 03/02/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Azoury | 733604 | 3 | 12/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Hugh Grady | 1780451 | 1 | 10/24/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |